OATS Compliance Solutions

Simplify compliance with OATS reporting requirements. 

SS&C’s Financial Markets Group is a FINRA-certified Transmitting and Reporting Order Sending Organization (OSO) and provides comprehensive, full-service Order Audit Trail System (OATS) reporting solutions for more than 90 broker-dealers. These include our OATS Consolidator service, a broker-neutral solution that delivers accurate OATS reporting for firms using multiple trading systems. Our services combine an in-depth understanding of trading and order management systems with expert knowledge of the intricacies of OATS compliance regulations.

Dually listed securities reporting: We identify reportable transactions based on FINRA’s daily list of dually-listed securities, then apply the appropriate currency conversion to report in U.S. dollars and submit them to FINRA on your behalf.

Data retention for easy access: SS&C stores up to seven years of reported OATS data, with ready access to the last three years of data.

Improved accuracy: Our OATS Generator takes in standard and custom formatted data, detects erroneous data, excludes it prior to submission and applies corrective actions at a macro level for resubmission.

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